Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sidney Joel Weber, Claimant v. TradeStation Securities, Inc., Respondent Case Number: 05-01992 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: In Propria Persona Campbell, California For Respondent: Michael S. Hill Chief Compliance Officer Plantation, Florida CASE INFORMATION Statement of C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: _. ^1fliinant/Coimter-Rf spring nit Pfl< ;^_Ni irn h pJ " 05-01984 Pro-Integrity Securities, Inc. NarrP ThirH-Paffy P|pi'mant Hg_qrjr|jr_Site' Dallas, Texas. Lance Lipoufski ir^-Party "RpsprmHprit William Martin Perry NATTTTMT HP THff Former Member Firm v. Associated Person v. Associated Person OF P APTIF.S Claimant/Counter-Respondent Pro-Integrity

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Natnp nf thp Claimant Patricia J. Wilson Name of the Respondents Wells Fargo Investments, LLC Sarah Fajardo Case Number 05-01970 aring Sitp- Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. RKPRFSFNTATTON OF PARTTF.S Claimant, Patricia J. Wilson, hereinafter referred to as "Claimant", was represented by Susan Wilson, New

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant R.K. Grace & Company Case No. 01-00528 Hearing Site: Boca Raton, Florida Name of Respondent Arthur McDonnell REPRESENTATION OF PARTIES For R.K. Grace & Company ("R.K.") hereinafter referred to as "Claimant": Stephen A. Mendelsohn, Esq., Rutherford, Mulhall & Wargo, P.A., Boca Raton, Florida. Respondent Arthur McDonnell ("McDonnell") appeared pro

*• I Award NASD Dispute Resolution In the Matter of the Arbitration Between: Randall K. and Katherine Dinwiddie, Claimants v. McDonald Investments Inc., Respondent Case Number: 05-01954 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants Randall K, and Katherine Dinwiddie: Nicholas P. lavarone, Esq. Simmons Cooper LLC East Alton, Illinois For Respondent McDonald Investments Inc

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01947 Martin Martiarena, (Claimant) vs. Ramirez & Co., Inc., (Respondent) ATTORNEYS: " ~~ For Claimant appeared Curtis E. Pew, Esq., of the Benjamin N. Cardozo School of Law, New York, NY. For Respondent appeared in-house counsel Jerry Auld, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 13, 2005 CASE SUMMARY: Claimant alleged that Respondent breached it

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01936 Oppenheimer & Co., Inc., (Claimant) vs. James Mariani, (Respondent) ATTORNEYS: —— For Claimant appeared in-house counsel Eric J. Shames, Esq., New York. NY. For Respondent appeared Ruthann Niosi, Esq., of the firm The Law Offices of Ruthann Niosi, Esq. P.C., New York, NY. NATURE OF DISPUTE: Member and Associated Person " ~ " DATE FILED: April 11, 2005 CASE SUMMARY: Claimant all

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01922 Jose A. Rodriguez Names of the Respondents Hearing Site: Orlando, Florida UBS Financial Services Inc. f7k/a UBS PaineWebber, Inc. Enrique Torruella Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Jose A. Rodriguez, hereinafter referred to as "Claimant," appeared pro se. For UBS Financi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas A. Bingham, Claimant v. Piper Jaflray & Co., and U.S. Bank, a Corporation, Respondents Piper Jaflray & Co., Counter-Claimant v. Thomas Bingham, Counter-Respondent Case Number: 05-01909 Hearing Site: Phoenix, Arizona Nature of the Dispute: Associated Person v. Member and Non-Member Member v. Associated Person REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lawrence D. Thomas, Esq. vs. Citigroup Global Markets, Inc. Case Number: 05-01905 Hearing Site: Charlotte, NC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Lawrence D. Thomas, hereinafter referred to as "Claimant", was represented by Lynn Williams, Esq., Woska & Hayes, LLP, Oklahoma City, Oklahoma. Respondent, Citigroup Global Markets, Inc., her